Investment Advisers Content

March 16, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 13-89 RE: NOTICE OF MEETING, WEDNESDAY, APRIL 12, 1989 __________________________________________________________ A meeting of your committee has been scheduled for Wednesday, April 12, 1989 at 1:30 p.m. following a joint luncheon...

March 9, 1989 TO: CLOSED-END FUND MEMBERS NO. 15-89 INVESTMENT ADVISERS COMMITTEE NO. 12-89 STATE LIAISON COMMITTEE NO. 1-89 UNIT INVESTMENT TRUST COMMITTEE NO. 11-89 RE: 1989 SEC/NASAA ANNUAL CONFERENCE ON UNIFORMITY OF SECURITIES LAW _________________________________________________...

February 10, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 11-89 SEC RULES COMMITTEE NO. 13-89 UNIT INVESTMENT TRUST COMMITTEE NO. 7-89 RULE 144A SUBCOMMITTEE RE: ICI FILES COMMENT LETTER ON PROPOSED RULE 144A __________________________________________________________ The Institute has...

February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 9-89 RE: INSTITUTE TESTIFIES IN MARYLAND CONCERNING PROPOSED INVESTMENT ADVISER LEGISLATION __________________________________________________________ On February 8, 1989, the Institute testified before the Maryland House Economic...

February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 8-89 RE: INSTITUTE SUBMITS COMMENT LETTER TO IDAHO CONCERNING PROPOSED INVESTMENT ADVISER DEFINITION __________________________________________________________ In the attached letter, the Institute comments on the proposed...

February 9, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 10-89 RE: INSTITUTE COMMENTS ON PROPOSED NEW JERSEY PERFORMANCE FEE RULE __________________________________________________________ On February 1, 1989, the Institute submitted a comment letter to the New Jersey Securities...

February 6, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 7-89 SEC RULES COMMITTEE NO. 11-89 UNIT INVESTMENT TRUST COMMITTEE NO. 6-89 RE: NASD PROPOSAL TO RESTRICT PAYMENT OF REFERRAL FEES __________________________________________________________ As we previously informed you, the NASD...

February 3, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 6-89 RE: COMMENT LETTERS CONCERNING SEC PROPOSAL TO EXEMPT CERTAIN SMALL INVESTMENT ADVISERS __________________________________________________________ As you recall, the SEC has proposed two rules that would expand the...

February 2, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 5-89 RE: INSTITUTE COMMENTS ON NEW YORK PROPOSED LEGISLATION __________________________________________________________ As you may recall, a number of investment adviser legislative proposals have been introduced in the New York...

February 2, 1989 TO: INVESTMENT ADVISERS COMMITTEE NO. 4-89 RE: INSTITUTE COMMENTS ON GEORGIA PROPOSED INVESTMENT ADVISER RULES __________________________________________________________ As you know, the Institute has been actively involved in the development of the Georgia rules...